Webinar - What SEC-Registered Investment Advisers Need to Know
About the New ERISA Fiduciary Rules
May 17, 2016
1:00 - 2:15 p.m. (ET)
webinar will discuss the recent changes to the ERISA rules on fiduciaries and
how they may affect SEC-registered investment advisers in the following areas:
- Will RFPs and Other Promotional Activities
Trigger Fiduciary Status?
- Will the Best Interest Contract Exemption Be
Necessary for Investment Advisers?
- Will Model Portfolio Providers, Mutual Fund
Wholesalers and Referral Providers Be ERISA Fiduciaries?
- How Will Changes to Prohibited Transaction
Exemptions Affect My Operations?
- Did the DOL Cover Active versus Passive
Investments, Permissible Investments and Valuation Activities?
- Other Questions
Sichel, Partner, K&L Gates LLP
- Kristina Zanotti, Partner, K&L Gates LLP
- Kathy D. Ireland, Associate General Counsel, IAA (Moderator)
Click the "Register" button on this page.
|IAA Members and Associate Members
*Per computer login
NOTE: The webinar is devoted to industry professionals.
Press will not be permitted.
Have your Questions Addressed
To have your questions about the new ruling addressed
during the webinar, submit them ahead of time to firstname.lastname@example.org.
About the Presenters
is a partner in the
New York office of K&L Gates, where he is a member of the Investment
Management practice group and oversees the ERISA Fiduciary practice. He has
extensive experience helping financial institutions and corporate retirement
plans navigate the complexities of ERISA, as well as issues under the
Dodd-Frank Act that pertain to “special entities.” Prior to joining K&L Gates, Mr. Sichel
held senior positions at several large financial institutions. In addition, he
was an executive director in the legal department at a global financial
services firm. He received his J.D. from Villanova
University School of Law, an LL.M. from New York University School of Law, and
his undergraduate degree from the College of New Jersey.
||Kristina M. Zanotti is a partner in the
investment management practice group of K&L Gates, concentrating in the
areas of employee benefits and derivatives transactions. Ms. Zanotti represents
financial services clients in connection with swap and other derivatives transactions
and in negotiating master agreements, including ISDAs, Master Repurchase
Agreements, Master Securities Forward Transaction Agreements, futures
agreements, cleared derivatives documentation, and related agreements. She
received a J.D. from Yale Law School and a B.A. from the College of William and
||Kathy D. Ireland (moderator)is Associate General Counsel of the Investment
Adviser Association. Prior to joining the IAA, Ms. Ireland acted as an
independent consultant focusing on pension and securities issues.
Previously, Ms. Ireland served as Associate Counsel and Senior Associate
Counsel at the Investment Company Institute, representing the mutual fund
industry in regulatory matters before the Department of Labor, the IRS, and the
SEC. She received her B.S. degree, magna cum laude, from Lebanon Valley
College, her law degree from the College of William & Mary, and an LL.M. in
Labor Law from the George Washington University National Law Center.
Paid Registration Cancellation or Substitution
For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Friday, May 13, 2016. There are no refunds for cancellations received after this date. Email your requests